0000927628-21-000249.txt : 20210729 0000927628-21-000249.hdr.sgml : 20210729 20210729161942 ACCESSION NUMBER: 0000927628-21-000249 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210727 FILED AS OF DATE: 20210729 DATE AS OF CHANGE: 20210729 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Slocum Michael CENTRAL INDEX KEY: 0001528494 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13300 FILM NUMBER: 211127716 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE CITY: MCLEAN STATE: VA ZIP: 22102 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL ONE FINANCIAL CORP CENTRAL INDEX KEY: 0000927628 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 541719854 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 BUSINESS PHONE: 7037201000 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 FORMER COMPANY: FORMER CONFORMED NAME: OAKSTONE FINANCIAL CORP DATE OF NAME CHANGE: 19940728 4 1 wf-form4_162758996241025.xml FORM 4 X0306 4 2021-07-27 0 0000927628 CAPITAL ONE FINANCIAL CORP COF 0001528494 Slocum Michael 1680 CAPITAL ONE DRIVE MCLEAN VA 22102 0 1 0 0 President, Commercial Banking Common Stock 2021-07-27 4 M 0 24404 70.96 A 81092 D Common Stock 2021-07-27 4 M 0 29413 74.96 A 110505 D Common Stock 2021-07-27 4 S 0 43917 161.69 D 66588 D Common Stock 2021-07-27 4 S 0 9900 162.27 D 56688 D Stock Options 70.96 2021-07-27 4 M 0 24404 0 D 2024-01-29 Common Stock 24404.0 0 D Stock Options 74.96 2021-07-27 4 M 0 29413 0 D 2025-01-28 Common Stock 29413.0 0 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.06 to $162.04. Information regarding the number of shares sold at each price will be provided upon request. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $162.06 to $162.66. Information regarding the number of shares sold at each price will be provided upon request. This option became exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter. This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter. /s/ Cleo Belmonte (POA on file) 2021-07-29